BROKER/DEALER

Mainstay's Areas of Expertise Include:

Assistance with Regulatory Examinations Advertising & Website Review AML Procedures AML Audit Annual Compliance Meetings Books and Records Broker/Dealer Formation Clearing Agreements Compliance Audits Compliance Procedures/Manuals Continuing Education CRD/IARD Administrator Customer Compliant Review & Form Filing Employee Development Execution Agreements Financial Operations/FINOP Services Financial Reporting Focus Reports Form B/D Amendments Front and Back Office Processing

Litigation Support/Expert Witness Services Mock Regulatory Examinations NASD Branch Office Inspections NASD Entitlements NASD Continuing Membership Applications Operational Systems and Procedures Outsourcing Recruitment/ Executive Search Regulatory Mandated Independent Consulting Regulatory Inquiries Renewals Sales Practices SEC, NASD and State Registrations State Regulatory Filings Supervisory Procedures/Manuals Training U4 and U5 Amendments Work Flow and Systems Analysis

The Mainstay Group, Inc. can assist with the formation of new Brokers/Dealers. For more informantion about formation of new Brokers/Dealers, click here.